SEC Form 4 · accession 0001061434-19-000004
TriState Capital Holdings, Inc. · TSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Getz
Officer — CHAIRMAN, PRESIDENT AND CEO · Director
Period of report
Feb 21, 2019
Accepted (ET)
Feb 22, 2019 · 5:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001380846
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Feb 21, 2019 | S | 6,250 | $22.617 | D | 567,960 | D | |
| Common StockF4,F3 | Feb 22, 2019 | S | 6,250 | $22.6359 | D | 561,710 | D | |
| Common StockF5 | holding | — | — | — | 287,173 | I | By Getz Enterprises, L.P. | |
| Common StockF6 | holding | — | — | — | 140,618 | I | By Stephens Inc. FBO James F. Getz Individual Retirement Account | |
| Common StockF7 | holding | — | — | — | 368,944 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were sold by the Reporting Person to satisfy estimated tax obligations resulting from the vesting of restricted stock which occurred on January 14, 2019, which restricted stock was previously granted to the Reporting Person pursuant to the Company's 2014 Omnibus Incentive Plan.
- F2This price represents the approximate weighted average price per share of sales of the Issuer's common stock, which were executed at prices ranging from $22.60 to $22.64 per share. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each price.
- F3Shares held jointly by the Reporting Person and spouse.
- F4This price represents the approximate weighted average price per share of sales of the Issuer's common stock, which were executed at prices ranging from $22.61 to $22.66 per share. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each price.
- F5The Reporting Person is the general partner of this entity.
- F6The Reporting Person is the beneficiary of this account.
- F7Shares owned by the Reporting Person individually.